Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership)

Forms and Documents

Document Name	Status
Form 1405 Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership) Form	Modified
Supporting Statement1405_Jun07.doc Supporting Statement A	2007-08-09

IC Document Collections

IC ID	Document Title	Status
35704	Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership) Form	Modified

ICR Details

OMB Control No: 3245-0172	ICR Reference No: 200708-3245-002
Status: Historical Active	Previous ICR Reference No: 200406-3245-005
Agency/Subagency: SBA	Agency Tracking No:
Title: Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/15/2007
	Date Received in OIRA: 08/09/2007
Terms of Clearance: SBA is asked to note at the bottom of each form that the information collection is voluntary.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2010	36 Months From Approved	10/31/2007
Responses	600	0	600
Time Burden (Hours)	600	0	600
Cost Burden (Dollars)	0	0	0

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Abstract: SBA Forms 1405 and 1405A are used by SBA examiners as part of their examination of licensed small business investment companies (SBICs). This information collection provides independent third party confirmation of an SBIC's representations concerning its owners, and helps SBA to evaluate the SBIC's compliance with applicable laws and regulations concerning capital requirements.

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Authorizing Statute(s): US Code: 15 USC Section 687b Name of Law: Small Business Investment Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 34	02/21/2007
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 151	08/07/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Stockholders' Confirmation (Corporation); Ownership Confirmation (Partnership)	1405, 1405A	Stockholders Confirmation (Corporation, Ownership Confirmation (Partnership) ,   Stockholders Confirmation (Corporation) Ownership Confirmation (Partnership)

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	600	600	0	0	0	0
Annual Time Burden (Hours)	600	600	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 08/09/2007

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